0.002% of gross value of a SI transaction, subject to a minimum fee of HK$2 and maximum of HK$100 per side per SI transactionNotes: Gross value refers to input trade value of eligible non-Debt Securities or nominal value of eligible Debt Securities

0.002% of gross value of a SI transaction, subject to a minimum fee of HK$2 and maximum of HK$100 per side per SI transactionNotes: Gross value for eligible non-Debt Securities refers to value calculated at nominal prices of the previous trading day, and for eligible Debt Securities, refers to their nominal value

Other SI transactions (e.g. portfolio movement)

ISI transaction

Investor-broker/custodian participant transaction

Nil

Stock transfer fee

Movement of eligible securities between stock accounts of the same participant (effected by ATI)

Nil

For each TI relating to a transfer of EFN and/or specified instruments* between a participant and a recognized dealer of Central Money Markets Unit

0.002% of the nominal value of the EFN and/or specified instruments, subject to a minimum fee of HK$2 and maximum of HK$100 for each transfer

*Specified instruments refer to those capital market instruments (other than Exchange Fund Notes) (i) which are for the time being specified as capable of being held in the Exchange Fund Bills and Notes Clearing and Settlement System, (ii) which are listed or to be listed on the Stock Exchange and (iii) (where the issuer is a company or an overseas company, within the meaning of those terms in the Companies Ordinance) in respect of which a prospectus has been registered with the Registrar of Companies in Hong Kong.

Concessions on stock clearing and settlement fees may be granted to participants for portfolio transfers involving SI transactions due to change of business. A discount in stock clearing fee and stock settlement fee may be granted to Participants, on written application by Participants, for SI Transactions due to such reasons as may be specified by HKSCC from time to time.

Please refer to section 21 of CCASS Operational Procedures for the complete fee schedule of HKSCC.

Updated 01 Aug 2018

Electronic money settlement services

Fee Nature

Transaction Nature

Fee Amount

Money settlement fee

# Exchange trade

HK$0.50 for HKD items, CNY items and USD items for each DDI or DCI or EPI issued by HKSCC for transactions settled on a DVP basis

# SI or ISI transaction

HK$0.50 for HKD items, CNY items and USD items for each EPI issued by HKSCC for transactions settled on a DVP or RDP basis

Other miscellaneous amounts to be paid to or collected from participants
(e.g. marks and contributions to the Guarantee Fund and application and refund monies for EFN, specified instruments and new issue shares)

HK$0.50 for HKD items, CNY items and USD items for each DDI/DCI/EPI issued by HKSCC

Cash prepayment service fee

For releasing securities-on-hold at the request of a clearing participant

Please refer to section 21 of CCASS Operational Procedures for the complete fee schedule of HKSCC.

Updated 01 Aug 2018

Depository and nominee services

Fee Nature

Transaction Nature

Fee Amount

Stock deposit fee

Deposit of eligible securities into CCASS Depository

Nil

Stock withdrawal fee

Withdrawal of registered eligible securities. Not applicable to foreign securities

HK$3.50 per board lotOdd lots also charged at HK$3.50 each.

Withdrawal of other non-eligible securities, including discontinued eligible securities (e.g. expired warrants), uncertificated or delisted bearer securities and securities entitlements which are not eligible securities. Not applicable to foreign securities

HK$1 per board lot for registered securities or HK$1 per certificate for bearer securitiesOdd lots also charged at HK$1 each.

Withdrawal of foreign securities and securities entitlements accruing from foreign securities which do not constitute eligible securities

HK$600 per instruction plus out-of-pocket expenses incurred by HKSCC

Stock custody fee

Safe-keeping of registered securities held in CCASS Depository. Not applicable to foreign securities

HK$0.012 per board lot per month subject to a maximum of HK$100,000 per month per participant Odd lots also charged at HK$0.012 each (Fee calculated on aggregate month-end stock quantity balances in stock accounts of each participant.)

Safe-keeping of bearer debt securities, EFN and specified instruments held in CCASS Depository. Not applicable to foreign securities

0.012% per annum on nominal value calculated on a daily basis, subject to a maximum of HK$300,000 per month per participant (fee calculated on aggregate daily balance of nominal values of bearer debt securities, EFN and / or specified instruments in stock account of each participant.)

Stock maintenance fee

For foreign securities only

HK$0.25 per 100 shares or balance of less than 100 shares (fee calculated on the daily average stock balance of foreign securities and payable monthly. No stock custody fee will be charged.)

Stock segregated accounts with statement service fee

Statements of daily stock movements and monthly balances of a segregated account will be sent directly to a person nominated by a CCASS participant

HK$10 per month per account

Dividend and other distribution and debt securities interest collection service fee

Collection and distribution of cash dividend or cash distribution or cash bonus or cash interestFee also applicable to Units and foreign securities

0.12% of the aggregate of cash amount of dividend, distribution, bonus and interest per stock/debt securities paid to participant in one currency on the same day, subject to a maximum of HK$10,000 (or its equivalent in foreign currencies)Fee together with other applicable bank charges will be deducted at source at the time of distribution to participants.

Common Nominee services provided for registered non-debt securities in relation to all corporate actions other than the collection of cash dividends, cash distribution and bonuses, bonus shares, stock dividends, corporate voting, stock splitting or stock consolidationFee also applicable to foreign securities and the applications for issue and redemption of unitsFee also applicable to automatic exercise of structured products at expiry

HK$0.80 per board lot subject to a maximum of HK$10,000 per instruction or (if no instruction is required for a corporate action) per corporate action per account Odd lots also charged at HK$0.80 each. Where the amount calculated as aforesaid exceeds the corresponding amount of cash payment entitlement collected in respect of the corporate action and such cash payment is the only form of entitlement collected in respect of that corporate action (for the avoidance of doubt, this does not apply where there is no cash payment entitlement in respect of a corporate action), the amount of the cash payment.Fee calculated on stock quantity balances on which the corporate actions are to be taken.Fee debited on input dates or event dates of corporate actions.

HK$600 per instruction (plus out-of-pocket expenses incurred by HKSCC, if any, will be borne by the participants.)Fee debited on date of submission of instruction.

Handling charge for unclaimed entitlements

Claims made by participants against HKSCC

HK$200 per claim application in respect of unclaimed entitlements of a stock or (if the gross cash amount of the unclaimed entitlements is less than HK$200) the gross cash amountFee is additional to other fees for relevant nominee services.Fee is payable on successful claim application.

Registration and transfer feeNotes:HKSCC may incur payments for re-registration of registered eligible securities as well as non-eligible securities and in relation to adjustments for entitlements in respect of late deliveries under the CNS system.In relation to portfolio transfer of registered securities from Clearing and/or Custodian Participants’ stock accounts to the Investor Participant’s stock account in CCASS by ISI transactions without trade data value input within the first ten settlement days from the date of opening of the investor account and for which HKSCC has granted registration and transfer fee concession to the Investor Participant; the number of board lots representing such transfer will be deducted from the aggregate holdings in board lots in the stock accounts balances of the Clearing and/or Custodian Participant for the purpose of calculating the registration and transfer fee payable by such Clearing and/or Custodian Participant.

For registering eligible securities in the name of HKSCC Nominees Limited

HK$1.50 per board lot on net increase in aggregate holdings in board lots of registered securities in balances in the stock accounts of a participant since the date on which fee was last collected by HKSCC. Odd lots also charged at HK$1.50 each.Nil for Exchange Fund Notes, government bonds, specified instruments, CMU Instruments and foreign securities.Fee is debited on one of the following collection dates:-(i) The last registration date of a corporate event of which a book-close date / record date is announced by the issuer of registered securities for determining the registered holders and their registered holdings that qualify for receipt of cash and non-cash entitlements, (other than for receipt of out-of-money right issue entitlements determined by reference to the closing nominal prices of the underlying securities on the first ex-date, i.e., two trading days prior to the relevant book-close dates, for attendance at meetings and voting solely without receipt of any entitlement and for stock conversion into other eligible securities only);(ii)Event date of corporate actions other than share splitting or consolidation, stock conversion into other eligible securities or corporate actions involving no cash distribution to the registered holders).

Fee is subject to revision if registration and transfer fee is changed by share registrars.HKSCC may, on written applications of participants, grant concessions to the participants with respect to all or part of the registration and transfer fee and HKSCC may charge a handling charge of HK$1,000 per application. HKSCC shall stipulate the circumstances, and the criteria to be satisfied, for the grant from time to time.Concession may be granted on a written application by the participants if their CCASS participantship is altered due to their business restructuring.A concessionary registration and transfer fee of HK$2.50 per certificate will be charged in respect of large denomination registered share/debt securities certificates deposited in CCASS instead of the normal registration and transfer fee. Each such registered share/debt securities certificate must represent at least 1,000 board lots. Such fee will be debited at the time of deposit. The number of board lots represented by such large denomination registered share/debt securities certificates will not be included in the calculation of the normal registration and transfer fee debited on the relevant collection date.

Handling fee for tender instructions

To tender instruction via CCASS terminal

HK$5 per instructionFee is debited on input date.

Handling fee for electronic application instructions for new issue shares